Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marshall? Claim Your ProfileMarshall Van Kaplan is a financial advisor with over 30 years of experience in the financial industry. Marshall has held positions at a number of well-known financial institutions, including Citigroup Global Markets Inc., Salomon Brothers Inc., Morgan Stanley and Morgan Stanley Smith Barney LLC. Marshall is currently a registered representative and investment advisor representative with Ingalls & Snyder, LLC in New York. Marshall's expertise is in providing financial planning, portfolio management and educational seminars to individuals, families, corporations, charitable organizations and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see "miscellaneous" on schedule d.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
07/08/2021 - Present
Ingalls & Snyder, LLC (NEW YORK NY)
NY
09/30/2015 - 10/30/2018
MORGAN STANLEY DISTRIBUTION, INC. (NEW YORK NY)
NY
03/01/2010 - 10/30/2015
MORGAN STANLEY (NEW YORK NY)
NY
04/23/1986 - 03/01/2010
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/28/1997 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
IA
Issued 03/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/06/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/07/2000
Series 24 - General Securities Principal Examination
BC
Issued 09/05/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 02/06/1987
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/18/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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